Form 8.3 - AbbVie

Form 8.3 - AbbVie

BARCLAYS PLC

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings are being disclosed:  

Barclays PLC.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

ABBVIE INC

(d) If an exempt fund manager connected with an offeror/offeree, state this and specify identity of offeror/offeree:    
(e) Date position held/dealing undertaken:  

8 October 2014

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?  

YES:

SHIRE PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:       ORD            
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,897,937 0.31% 4,597,038 0.29%
           
(2) Derivatives (other than
options): 3,348,414 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,682,300 0.42% 8,667,289 0.54%
           
(4)
TOTAL: 14,928,651 0.94% 13,264,327 0.83%

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other executive options)

Class of relevant security in relation to which subscription right exists:  
Details, including nature of the rights concerned and relevant percentages:  

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales

Class of relevant   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 10 57.9500 USD
ORD Purchase 25 56.4200 USD
ORD Purchase 100 56.5010 USD
ORD Purchase 100 57.8600 USD
ORD Purchase 100 58.3200 USD
ORD Purchase 174 57.2252 USD
ORD Purchase 194 57.1600 USD
ORD Purchase 200 58.1200 USD
ORD Purchase 300 56.6900 USD
ORD Purchase 407 57.9000 USD
ORD Purchase 451 58.1063 USD
ORD Purchase 500 58.2000 USD
ORD Purchase 680 56.3100 USD
ORD Purchase 752 57.7289 USD
ORD Purchase 773 56.5500 USD
ORD Purchase 1,000 57.5875 USD
ORD Purchase 1,025 58.1450 USD
ORD Purchase 1,100 58.3900 USD
ORD Purchase 1,200 56.5583 USD
ORD Purchase 1,500 57.7466 USD
ORD Purchase 2,029 58.1854 USD
ORD Purchase 2,700 58.3800 USD
ORD Purchase 2,948 56.6980 USD
ORD Purchase 3,197 56.5574 USD
ORD Purchase 3,200 58.3859 USD
ORD Purchase 3,888 58.3684 USD
ORD Purchase 4,032 56.6500 USD
ORD Purchase 4,454 58.1979 USD
ORD Purchase 4,704 57.9924 USD
ORD Purchase 5,761 57.9696 USD
ORD Purchase 5,826 57.6848 USD
ORD Purchase 6,300 58.0399 USD
ORD Purchase 6,978 57.7933 USD
ORD Purchase 7,146 57.6837 USD
ORD Purchase 8,100 58.0676 USD
ORD Purchase 10,246 58.3661 USD
ORD Purchase 10,606 57.6631 USD
ORD Purchase 12,114 58.3816 USD
ORD Purchase 12,705 56.5902 USD
ORD Purchase 13,431 57.9141 USD
ORD Purchase 14,089 58.2082 USD
ORD Purchase 14,252 57.7619 USD
ORD Purchase 17,472 56.6110 USD
ORD Purchase 21,778 56.5064 USD
ORD Purchase 23,300 58.2601 USD
ORD Purchase 26,270 58.0997 USD
ORD Purchase 36,424 57.7794 USD
ORD Purchase 88,900 57.7315 USD
ORD Purchase 109,176 57.3107 USD
ORD Purchase 144,920 57.3484 USD
ORD Purchase 201,600 57.5215 USD
ORD Purchase 201,700 57.5217 USD
ORD Purchase 2,318,823 58.3400 USD
ORD Sale 10 57.9500 USD
ORD Sale 56 56.5000 USD
ORD Sale 56 57.2100 USD
ORD Sale 56 58.3900 USD
ORD Sale 90 57.6984 USD
ORD Sale 100 56.8300 USD
ORD Sale 100 57.3300 USD
ORD Sale 100 58.2900 USD
ORD Sale 100 58.3300 USD
ORD Sale 106 58.3590 USD
ORD Sale 169 56.8701 USD
ORD Sale 172 56.5700 USD
ORD Sale 185 57.8612 USD
ORD Sale 200 57.5675 USD
ORD Sale 200 57.8600 USD
ORD Sale 200 58.2850 USD
ORD Sale 200 58.3000 USD
ORD Sale 200 58.3500 USD
ORD Sale 200 58.3575 USD
ORD Sale 300 56.9800 USD
ORD Sale 300 57.1133 USD
ORD Sale 300 57.8133 USD
ORD Sale 300 58.1033 USD
ORD Sale 300 58.1600 USD
ORD Sale 300 58.2733 USD
ORD Sale 300 58.3800 USD
ORD Sale 335 56.7100 USD
ORD Sale 340 56.0000 USD
ORD Sale 350 57.5471 USD
ORD Sale 400 57.2125 USD
ORD Sale 400 57.5500 USD
ORD Sale 400 58.2925 USD
ORD Sale 409 56.8874 USD
ORD Sale 444 58.3168 USD
ORD Sale 480 56.3100 USD
ORD Sale 500 58.0782 USD
ORD Sale 500 58.3070 USD
ORD Sale 546 58.3200 USD
ORD Sale 600 58.2916 USD
ORD Sale 600 58.3016 USD
ORD Sale 600 58.3133 USD
ORD Sale 689 57.6211 USD
ORD Sale 700 57.8871 USD
ORD Sale 700 58.2164 USD
ORD Sale 700 58.2928 USD
ORD Sale 700 58.2971 USD
ORD Sale 725 58.1450 USD
ORD Sale 800 57.5187 USD
ORD Sale 800 58.3106 USD
ORD Sale 821 56.6562 USD
ORD Sale 825 57.3460 USD
ORD Sale 900 57.8905 USD
ORD Sale 1,000 57.8345 USD
ORD Sale 1,052 56.7226 USD
ORD Sale 1,100 57.3513 USD
ORD Sale 1,100 58.2845 USD
ORD Sale 1,200 58.2883 USD
ORD Sale 1,300 57.5319 USD
ORD Sale 1,300 57.9292 USD
ORD Sale 1,480 56.9254 USD
ORD Sale 1,591 57.1775 USD
ORD Sale 1,600 58.3082 USD
ORD Sale 1,826 57.3578 USD
ORD Sale 2,000 57.8360 USD
ORD Sale 2,090 57.6277 USD
ORD Sale 2,300 57.9370 USD
ORD Sale 2,352 57.2322 USD
ORD Sale 2,395 57.4605 USD
ORD Sale 2,600 57.6553 USD
ORD Sale 2,932 57.6263 USD
ORD Sale 2,955 57.7825 USD
ORD Sale 3,100 58.2967 USD
ORD Sale 3,489 57.7933 USD
ORD Sale 4,000 56.6644 USD
ORD Sale 4,032 56.6500 USD
ORD Sale 4,064 57.8364 USD
ORD Sale 4,665 57.7653 USD
ORD Sale 5,254 57.6606 USD
ORD Sale 5,611 57.3773 USD
ORD Sale 6,029 56.5500 USD
ORD Sale 6,484 57.6557 USD
ORD Sale 6,500 57.9943 USD
ORD Sale 6,793 57.7090 USD
ORD Sale 7,578 57.1701 USD
ORD Sale 8,006 56.8802 USD
ORD Sale 8,412 57.5927 USD
ORD Sale 8,736 56.6110 USD
ORD Sale 8,800 58.2860 USD
ORD Sale 9,327 56.8730 USD
ORD Sale 9,991 57.8120 USD
ORD Sale 11,226 57.6244 USD
ORD Sale 15,000 58.2890 USD
ORD Sale 16,079 57.3213 USD
ORD Sale 16,451 56.9579 USD
ORD Sale 17,026 56.9657 USD
ORD Sale 18,894 57.7329 USD
ORD Sale 19,046 57.7145 USD
ORD Sale 19,469 57.0983 USD
ORD Sale 19,699 57.7236 USD
ORD Sale 20,244 58.2791 USD
ORD Sale 20,766 57.0285 USD
ORD Sale 20,791 57.4109 USD
ORD Sale 21,976 57.1691 USD
ORD Sale 29,500 57.7830 USD
ORD Sale 38,023 57.0360 USD
ORD Sale 40,932 57.4081 USD
ORD Sale 41,454 56.5081 USD
ORD Sale 67,500 57.7494 USD
ORD Sale 80,300 57.6699 USD
ORD Sale 88,235 58.3634 USD
ORD Sale 102,423 57.3112 USD
ORD Sale 201,600 57.5215 USD
ORD Sale 2,328,140 58.3400 USD

(b) Derivatives transactions (other than options)

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 1,602 56.6700 USD

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ORD Call Options Purchasing 5,000 50 USD American 15 May 2015 9.3300 USD
ORD Call Options Purchasing 56,200 60 USD American 22 Nov 2014 0.9658 USD
ORD Call Options Selling 27,300 57.5 USD American 22 Nov 2014 2.1027 USD
ORD Put Options Selling 100 40 USD American 22 Nov 2014 0.1500 USD

(ii) Exercising

Class of relevant security   Product description

e.g. call option

  Number of securities   Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security   Nature of dealing

e.g. subscription, conversion

  Details   Price per unit (if applicable)

The currency of all prices and other monetary amounts should be stated.

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

If there are no such agreements, arrangements or understandings, state “none”

NONE

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

NONE

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:

9 Oct 2014

Contact name:

Rajesh Muthanna

Telephone number:

020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

143221.01

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of person whose open positions are being disclosed:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

ABBVIE INC

2. OPTIONS AND DERIVATIVES

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Put Options Purchased -50,000 30.0000 American 15 Jan 2016
ORD Put Options Purchased -100 32.5000 American 17 Jan 2015
ORD Put Options Purchased -61,600 32.5000 American 15 Jan 2016
ORD Put Options Purchased -14,100 35.0000 American 17 Jan 2015
ORD Put Options Purchased -202,000 35.0000 American 15 Jan 2016
ORD Put Options Purchased -8,300 37.5000 American 17 Jan 2015
ORD Put Options Purchased -7,900 40.0000 American 17 Jan 2015
ORD Put Options Purchased -2,900 40.0000 American 15 Jan 2016
ORD Put Options Purchased -1,200 42.5000 American 22 Nov 2014
ORD Put Options Purchased -3,600 42.5000 American 17 Jan 2015
ORD Put Options Purchased -5,500 42.5000 American 20 Feb 2015
ORD Put Options Purchased -1,000 42.5000 American 15 May 2015
ORD Put Options Purchased -1,400 42.5000 American 15 Jan 2016
ORD Put Options Purchased -900 45.0000 American 22 Nov 2014
ORD Put Options Purchased -900 45.0000 American 17 Jan 2015
ORD Put Options Purchased -500 45.0000 American 15 Jan 2016
ORD Put Options Purchased -45,000 50.0000 American 22 Nov 2014
ORD Put Options Purchased -50,000 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 50.0000 American 15 Jan 2016
ORD Put Options Purchased -4,100 52.5000 American 18 Oct 2014
ORD Put Options Purchased -795,400 52.5000 American 22 Nov 2014
ORD Put Options Purchased -29,000 52.5000 American 16 Jan 2015
ORD Put Options Purchased -198,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -8,600 55.0000 American 22 Nov 2014
ORD Put Options Purchased -1,500 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -300 57.5000 American 17 Jan 2015
ORD Put Options Purchased -200 57.5000 American 20 Feb 2015
ORD Put Options Purchased -1,000 57.5000 American 15 Jan 2016
ORD Put Options Purchased -1,400 60.0000 American 22 Nov 2014
ORD Put Options Purchased -500 60.0000 American 17 Jan 2015
ORD Put Options Purchased -400 60.0000 American 15 Jan 2016
ORD Put Options Purchased -100 62.5000 American 17 Jan 2015
ORD Put Options Purchased -300 65.0000 American 15 Jan 2016
ORD Put Options Purchased -1,900 70.0000 American 15 Jan 2016
ORD Put Options Written 1,300 25.0000 American 17 Jan 2015
ORD Put Options Written 200 27.5000 American 17 Jan 2015
ORD Put Options Written 300 30.0000 American 17 Jan 2015
ORD Put Options Written 400 30.0000 American 15 Jan 2016
ORD Put Options Written 1,400 35.0000 American 15 Jan 2016
ORD Put Options Written 100 40.0000 American 22 Nov 2014
ORD Put Options Written 6,100 45.0000 American 17 Jan 2015
ORD Put Options Written 1,600 45.0000 American 20 Feb 2015
ORD Put Options Written 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 7,100 47.5000 American 17 Jan 2015
ORD Put Options Written 1,600 47.5000 American 20 Feb 2015
ORD Put Options Written 2,100 47.5000 American 15 Jan 2016
ORD Put Options Written 26,100 50.0000 American 17 Jan 2015
ORD Put Options Written 900 50.0000 American 20 Feb 2015
ORD Put Options Written 2,900 52.5000 American 22 Nov 2014
ORD Put Options Written 100 52.5000 American 20 Feb 2015
ORD Put Options Written 1,300 55.0000 American 18 Oct 2014
ORD Put Options Written 7,900 55.0000 American 20 Feb 2015
ORD Put Options Written 5,300 57.5000 American 18 Oct 2014
ORD Put Options Written 168,600 57.5000 American 22 Nov 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
ORD Call Options Purchased 700 42.5000 American 17 Jan 2015
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 4,700 50.0000 American 22 Nov 2014
ORD Call Options Purchased 6,700 50.0000 American 17 Jan 2015
ORD Call Options Purchased 5,000 50.0000 American 15 May 2015
ORD Call Options Purchased 200 52.5000 American 17 Jan 2015
ORD Call Options Purchased 1,200 52.5000 American 20 Feb 2015
ORD Call Options Purchased 200 52.5000 American 15 Jan 2016
ORD Call Options Purchased 104,400 55.0000 American 22 Nov 2014
ORD Call Options Purchased 23,000 55.0000 American 17 Jan 2015
ORD Call Options Purchased 255,700 55.0000 American 20 Feb 2015
ORD Call Options Purchased 304,100 55.0000 American 15 Jan 2016
ORD Call Options Purchased 2,600 57.5000 American 18 Oct 2014
ORD Call Options Purchased 476,400 57.5000 American 22 Nov 2014
ORD Call Options Purchased 7,900 57.5000 American 17 Jan 2015
ORD Call Options Purchased 200 57.5000 American 20 Feb 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 11,400 60.0000 American 18 Oct 2014
ORD Call Options Purchased 116,000 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 14,500 62.5000 American 22 Nov 2014
ORD Call Options Purchased 1,600 62.5000 American 20 Feb 2015
ORD Call Options Purchased 4,200 65.0000 American 22 Nov 2014
ORD Call Options Purchased 600 65.0000 American 17 Jan 2015
ORD Call Options Purchased 71,400 65.0000 American 20 Feb 2015
ORD Call Options Purchased 5,000,000 65.0000 American 19 Jun 2015
ORD Call Options Purchased 15,700 65.0000 American 15 Jan 2016
ORD Call Options Purchased 300 67.5000 American 22 Nov 2014
ORD Call Options Purchased 300 67.5000 American 17 Jan 2015
ORD Call Options Purchased 200 67.5000 American 15 May 2015
ORD Call Options Purchased 6,900 67.5000 American 15 Jan 2016
ORD Call Options Purchased 4,400 70.0000 American 17 Jan 2015
ORD Call Options Purchased 100 75.0000 American 17 Jan 2015
ORD Call Options Purchased 200 75.0000 American 15 Jan 2016
ORD Call Options Purchased 300 77.5000 American 17 Jan 2015
ORD Call Options Purchased 100 80.0000 American 15 Jan 2016
ORD Call Options Written -100 35.0000 American 15 Jan 2016
ORD Call Options Written -100 37.5000 American 15 Jan 2016
ORD Call Options Written -300 40.0000 American 17 Jan 2015
ORD Call Options Written -7,500 40.0000 American 15 Jan 2016
ORD Call Options Written -3,500 45.0000 American 17 Jan 2015
ORD Call Options Written -1,100 45.0000 American 15 Jan 2016
ORD Call Options Written -4,100 47.5000 American 22 Nov 2014
ORD Call Options Written -800 47.5000 American 17 Jan 2015
ORD Call Options Written -100,000 50.0000 American 17 Jan 2015
ORD Call Options Written -100 50.0000 American 15 Jan 2016
ORD Call Options Written -26,800 52.5000 American 22 Nov 2014
ORD Call Options Written -2,700 52.5000 American 17 Jan 2015
ORD Call Options Written -800 52.5000 American 15 Jan 2016
ORD Call Options Written -40,600 55.0000 American 18 Oct 2014
ORD Call Options Written -120,300 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -4,800 57.5000 American 18 Oct 2014
ORD Call Options Written -4,489 57.5000 American 21 Nov 2014
ORD Call Options Written -8,300 57.5000 American 22 Nov 2014
ORD Call Options Written -187,500 57.5000 American 17 Jan 2015
ORD Call Options Written -116,400 60.0000 American 17 Jan 2015
ORD Call Options Written -54,000 60.0000 American 20 Feb 2015
ORD Call Options Written -62,300 60.0000 American 15 Jan 2016
ORD Call Options Written -2,800 62.5000 American 18 Oct 2014
ORD Call Options Written -29,000 62.5000 American 16 Jan 2015
ORD Call Options Written -19,200 62.5000 American 17 Jan 2015
ORD Call Options Written -6,600 62.5000 American 15 Jan 2016
ORD Call Options Written -292,400 65.0000 American 17 Jan 2015
ORD Call Options Written -414,300 65.0000 American 20 Feb 2015
ORD Call Options Written -334,200 65.0000 American 15 Jan 2016
ORD Call Options Written -177,000 67.5000 American 20 Feb 2015
ORD Call Options Written -2,500 67.5000 American 15 Jan 2016
ORD Call Options Written -104,400 70.0000 American 15 Jan 2016
ORD Call Options Written -5,600 75.0000 American 15 Jan 2016
ORD Call Options Written -29,600 80.0000 American 15 Jan 2016

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences (“CFDs”) or spread bets.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

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